-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, D1g6D/laY0gYPuNXftUyrpNoYAk92iCu0fcZP839el4EHREDWS2drHUpbHdab8fa f1IdqlTSZ2gPA0DS0wUMQg== 0000049071-06-000126.txt : 20061229 0000049071-06-000126.hdr.sgml : 20061229 20061229090103 ACCESSION NUMBER: 0000049071-06-000126 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061228 FILED AS OF DATE: 20061229 DATE AS OF CHANGE: 20061229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LISTON THOMAS J CENTRAL INDEX KEY: 0001119596 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 061304079 BUSINESS ADDRESS: BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HUMANA INC CENTRAL INDEX KEY: 0000049071 STANDARD INDUSTRIAL CLASSIFICATION: HOSPITAL & MEDICAL SERVICE PLANS [6324] IRS NUMBER: 610647538 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 W. MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 FORMER COMPANY: FORMER CONFORMED NAME: EXTENDICARE INC DATE OF NAME CHANGE: 19740404 FORMER COMPANY: FORMER CONFORMED NAME: HERITAGE HOUSE OF AMERICA INC DATE OF NAME CHANGE: 19671129 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2006-12-28 0000049071 HUMANA INC HUM 0001119596 LISTON THOMAS J HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sr VP-Strategy & Corp Dev Humana Common 2006-12-28 4 M 0 4400 7.0938 A 62588 D Humana Common 2480 I See Footnote Humana Common 9841 I See Footnote Options 15.5938 2007-01-09 Humana Common 36680 36680 D Options 15.5938 2008-01-15 Humana Common 17400 17400 D Options 15.5938 2008-09-17 Humana Common 6090 6090 D Options 19.25 2009-01-15 Humana Common 20000 20000 D Options 9.5938 2009-09-09 Humana Common 10000 10000 D Options 7.0938 2006-12-28 4 M 0 4400 7.0938 D 2010-07-13 Humana Common 4400 45600 D Options 32.70 2012-02-24 Humana Common 17900 17900 D Options 12.995 2012-03-13 Humana Common 10000 10000 D Options 9.26 2013-03-13 Humana Common 10000 10000 D Options 21.275 2014-02-24 Humana Common 10000 10000 D Options 53.96 2013-02-23 Humana Common 8564 8564 D Shares held for the benefit of reporting person as of November 30, 2006 under the Humana Retirement & Savings Plan including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, both exempt under Rule 16b-3(c). Shares held by reporting person as custodian for three children. Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees. Non-Qualified stock options granted to reporting person on 9/17/98 vesting on 9/17/99. Non-Qualified stock options granted to reporting person on 9/17/98 vesting on 1/9/00. Non-Qualified stock options granted to reporting person on 9/17/98 vesting on 1/15/01. Non-Qualified stock options granted to reporting person on 1/15/99 vesting in three increments from 1/15/00 to 1/15/02. Non-Qualified stock options granted to reporting person on 9/9/99, vesting in three increments from 9/9/00 and 9/9/02. Incentive and Non-Qualified stock options granted to reporting person on 7/13/00 vesting in three increments each from 7/13/01 to 7/13/03. Incentive and Non-Qualified stock options granted to reporting person on 3/13/02, NQ options vesting on 3/13/03, and ISO's vesting in two increments on 3/13/04 and 3/13/05. Incentive stock options granted to reporting person on 3/13/03 vesting in three increments from 3/13/04 to 3/13/06. Right to buy pursuant to the Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/24/04, NQ vesting in two increments on 2/24/05 and 2/24/06, and ISO's vesting in three increments from 2/24/05 to 2/24/07. Incentive and Non-Qualified stock options granted to reporting person on 2/24/05, NQ options vesting in three increments from 2/24/06 to 2/24/08, and ISO's vesting in two increments on 2/24/07 and 2/24/08. Incentive and Non-Qualified stock options granted to reporting person on 2/23/06, NQ options vesting in three increments from 2/23/07 to 2/23/09, and ISO's vesting on 2/23/09. Thomas J. Liston 2006-12-28 -----END PRIVACY-ENHANCED MESSAGE-----